(Section 49) Executives / Personnel Major Shareholders Business Conduct (Section 18) Margin Requirement (Section 18) Protection of Customer Assets (Section 33,43,44) Internal operation of Securities
PowerPoint Presentation SEC Classification : ใชภ้ายใน (Internal) 1 สงิหาคม 2565 การสรา้ง/จดัเตรยีมค าขอ-แบบรายงาน SEC Classification : ใชภ้ายใน (Internal) 2©Copyright เลอืกบรษิทัทีต่อ้งการยืน่ค าขอ
securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business operator or derivatives business operator
a supervision policy of the securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business
| - |- Branch Office | - |- Foreign Derivatives Agent |- Margin Requirement (Section 18) |- Other related business (Section 22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities
Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.